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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION EXCHANGE ACT TROTTER INSTITUTING REMEDIAL SANCTIONS PURSUANT FINDINGS LEGEND SPORTS ADMINISTRATIVE PROCEEDINGS RESPONDENT CONSENTS ENTRY BROKER-DEALER SUSPENSION DAVID IMPOSING DEEMS PURPOSE ADMITTING HEREBY SALES F/K/A PERMANENT VIOLATIONS PERMANENT INJUNCTION PERMANENTLY ENJOINING JAMES STAPLES CONNECTION |
UNITED STATES OF AMERICA
before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 42878 / June 1, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10214
_____________________________
In the Matter of
DAVID E. TROTTER
Respondent.
____________________________ ORDER INSTITUTING
ADMINISTRATIVE PROCEEDINGS
PURSUANT TO SECTIONS 15(b) AND
EXCHANGE ACT OF 1934, MAKING
19(h) OF THE SECURITIES
FINDINGS AND IMPOSING
REMEDIAL SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative
proceedings be instituted pursuant to Sections 15(b) and 19(h) of the
Securities Exchange Act of 1934 ("Exchange Act") against Respondent
David E. Trotter ("Trotter" or "Respondent").
II.
In anticipation of the institution of these proceedings, Trotter has
submitted an Offer of Settlement ("Offer") for the purpose of
resolving these proceedings, which Offer the Commission has determined
to accept. Solely for the purpose of these proceedings and any other
proceedings brought by or on behalf of the Commission or to which the
Commission is a party, Respondent, by his Offer, consents to the entry
of this Order Instituting Proceedings Pursuant to Sections 15(b) and
19(h) of the Securities Exchange Act of 1934, Making Findings and
Imposing Remedial Sanctions ("Order"), admits the jurisdiction of the
Commission and, without admitting or denying the findings set forth
herein, except with respect to paragraph III.B., below, which is
admitted, consents to the entry of the findings and remedial sanctions
set forth below.
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